for the fund with a connected person only upon the approval of the mutual fund supervisor or the consent of the client or the provident fund committee, whichever the case may be, in writing before
consent of the client or the provident fund committee, whichever the case may be, in writing before entering into every such transaction, except in the following cases whereby the management company may
estate development business, whether in the form of a company, trust, or any other form; “net exposure” means the net investment value, whether from direct or indirect investment in a financial instrument
results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person
act which results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or
securities or instrument issuer within appropriate time. Derivatives broker shall not declare its intention to employ the client’s right and benefits without client’s permission or consent in writing. Clause 7
civil sanctions on Surin. However, he did not agree to comply with civil sanctions determined by the Civil Sanction Committee. SEC, therefore, requests the public prosecutor in writing to file a
dealing of debt securities or ceases to execute dealing transactions of debt securities, and the securities company has notified the SEC Office in writing of the ceasing of business undertaking or business
dealing transactions of debt securities, and the securities company has notified the SEC Office in writing of the ceasing of business undertaking or business transactions. Clause 9 A securities company
the trust instrument; “registration statement” means the registration statement of an offer for sale of securities in the category of unit; “financial advisor” means a financial adviser whose name